NWBO

Northwest Biotherapeutics, Inc. NWBO

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
LF Woodford Equity Income Fund United Kingdom 0 18316679 0 18316679 18316679 3.5 % 14/02/2019
Investment Management Ltd Kingdom 0 24815028 0 24815028 24815028 4.8 % 14/02/2019
Woodford Kingdom 0 24815028 0 24815028 24815028 4.8 % 14/02/2019
Woodford Equity Income Fund Kingdom 0 18316679 0 0 18316679 5.8 % 13/02/2018
Woodford Kingdom 0 24815028 0 0 24815028 7.9 % 13/02/2018
Investment Management Ltd Kingdom 0 24815028 0 0 24815028 7.9 % 13/02/2018
Mitchell P. Kopin United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
Daniel B. Asher United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
Intracoastal Capital LLC United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
Heights Capital Management, Inc. Delaware 0 11514993 0 11514993 11514993 3.5 % 09/02/2018
CVI Investments, Inc. Cayman Islands 0 11514993 0 11514993 11514993 3.5 % 09/02/2018
Woodford Equity Income Fund Kingdom 0 18316679 0 0 18316679 6.2 % 11/09/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Prudential Financial, Inc. Cayman Islands 0 14977782 0 14977782 1953846 8.7 % 01/06/2017
BARCLAYS GLOBAL INVESTORS, NA. United States of America 0 11974038 0 11974038 4525601 5.59 % 24/03/2017
10. United States of America 0 6612500 0 6612500 6612500 4 % 24/03/2017
10. United States of America 0 6612500 0 6612500 6612500 4 % 24/03/2017
10. United States of America 0 9238300 0 9238300 9238300 5.8 % 06/02/2017
10. United States of America 0 9238300 0 9238300 9238300 5.8 % 06/02/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 0 24815028 16.1 % 10/01/2017
Neil Woodford United Kingdom 0 24815028 0 0 24815028 16.1 % 10/01/2017
CF Woodford Equity Income Fund United Kingdom 0 18316679 0 0 18316679 11.9 % 10/01/2017
10. United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
10. United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
6.1% (see Item 4) United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
Heights Capital Management, Inc. Delaware 0 9525000 0 9525000 9525000 6.2 % 29/12/2016
CVI Investments, Inc. Cayman Islands 0 9525000 0 9525000 9525000 6.2 % 29/12/2016
Woodford Investment Management LLP United Kingdom 0 24815028 0 10 25915937 22.8 % 28/07/2016
Neil Woodford United Kingdom 0 24815028 0 10 25915937 22.8 % 28/07/2016
Woodford Investment Management LLP United Kingdom 0 24815028 0 10 25915937 25.5 % 15/03/2016
Neil Woodford United Kingdom 0 24815028 0 10 25915937 25.5 % 15/03/2016
Four M Purchasers LLC United States 0 0 2146936 0 2146936 2.2 % 27/01/2016
Dennis Mehiel United States 0 0 4015949 50000 4065949 4.2 % 27/01/2016
The Karen L. Mehiel 2012 Siblings Trust United States 0 0 50000 0 50000 0.1 % 27/01/2016
Woodford Investment Management LLP United Kingdom 0 24815028 0 10 25915937 28.1 % 24/11/2015
Neil Woodford United Kingdom 0 24815028 0 10 25915937 28.1 % 24/11/2015
Neil Woodford United Kingdom 0 24815028 0 10 25915937 28.1 % 02/11/2015
Woodford Investment Management LLP United Kingdom 0 24815028 0 10 25915937 28.1 % 02/11/2015
Neil Woodford United Kingdom 0 19671392 0 10 20461392 26.2 % 16/09/2015
Woodford Investment Management LLP United Kingdom 0 19671392 0 10 20461392 26.2 % 16/09/2015
CF Woodford Equity Income Fund United Kingdom 0 14280316 0 0 14280316 18.3 % 09/09/2015
CF Woodford Equity Income Fund United Kingdom 0 6342621 0 0 6342621 10.2 % 07/04/2015
Woodford Investment Management LLP United Kingdom 0 6763050 0 0 6763050 4 % 25/02/2015
The Karen L. Mehiel 2012 Siblings Trust United States 0 0 50000 0 50000 0.1 % 11/02/2015
Dennis Mehiel United States 0 0 4075949 50000 4125949 6.4 % 11/02/2015
Four M Purchasers LLC United States 0 0 3324915 0 3324915 5.1 % 11/02/2015
Mercury Real Estate Advisors LLC Delaware 4 4 4 4 289300 5.1 % 13/02/2014
Capital Ventures International Cayman Islands 0 1041666 0 1041666 1041666 2.3 % 13/02/2014
Heights Capital Management, Inc. Delaware 0 1041666 0 1041666 1041666 2.3 % 13/02/2014
Dennis Mehiel* United States 0 0 3203655 0 3203655 8 % 11/02/2014
Four M Purchasers LLC* United States 0 0 0 0 0 0 % 11/02/2014
Heights Capital Management, Inc. Delaware 0 3124999 0 3124999 3124999 7 % 29/11/2013
Capital Ventures International Cayman Islands 0 3124999 0 3124999 3124999 7 % 29/11/2013
Dennis Mehiel United States 0 0 3248555 0 3248555 8.2 % 16/08/2013
Four M Purchasers LLC United States 0 0 0 651974 651974 1.6 % 16/08/2013
GENESIS ASSET MANAGERS INTERNATIONAL LIMITED USA 0 2967482 0 2967482 3375034 6.9 % 18/04/2013
Tonaquint, Inc.87-0285597 Utah 0 0 0 0 0 0 % 15/10/2012
Sabra ICG, LLC Delaware 0 0 0 0 0 0 % 14/02/2012
Terren S. Peizer Delaware 0 0 0 0 0 0 % 14/02/2012
Socius CG II, Ltd. Delaware 0 0 0 0 0 0 % 14/02/2012
Socius Capital Group, LLC Delaware 0 0 0 0 0 0 % 14/02/2012
John M. Fife United States of America 4584489 0 4584489 0 4584489 4.3 % 07/02/2012
Utah Resources International, Inc.  (87-0273519) Utah 4584489 0 4584489 0 4584489 4.3 % 07/02/2012
JFV Holdings, Inc.  (36-4426825) Illinois 4584489 0 4584489 0 4584489 4.3 % 07/02/2012
Inter-Mountain Capital I Corp.  (36-4075407) Utah 4584489 0 4584489 0 4584489 4.3 % 07/02/2012
Tonaquint, Inc.  (87-0285597) Utah 4584489 0 4584489 0 4584489 4.3 % 07/02/2012
Utah Resources International, Inc.  (87-0273519) Utah 4145627 0 4145627 0 4145627 5.4 % 22/12/2011
JFV Holdings, Inc.  (36-4426825) Illinois 4145627 0 4145627 0 4145627 5.4 % 22/12/2011
Tonaquint, Inc.  (87-0285597) Utah 4145627 0 4145627 0 4145627 5.4 % 22/12/2011
John M. Fife United States of America 4145627 0 4145627 0 4145627 5.4 % 22/12/2011
Inter-Mountain Capital I Corp.  (36-4075407) Utah 4145627 0 4145627 0 4145627 5.4 % 22/12/2011
N/A Bermuda 4852228 0 4852228 0 4852228 6 % 11/03/2011
(: Citizenship or Place of Organization: 0 349887603 0 10 349887603 94.8 % 13/09/2005
(:                                52-2336938 Delaware 349887603 0 349887603 10 349887603 94.8 % 13/09/2005
(:                                   52-2336939 Delaware 349887603 0 349887603 10 349887603 94.8 % 13/09/2005
(:                                   52-2333790 Delaware 349887603 0 349887603 10 349887603 94.8 % 13/09/2005
(: Citizenship or Place of Organization: 0 349887603 0 10 349887603 94.8 % 13/09/2005
(: Citizenship or Place of Organization: 0 349887603 0 10 349887603 94.8 % 13/09/2005

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District